AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JP

James R. Ptacek

Some features on this profile are disabled
CRD#: 1959049
JP

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Robert Ptacek JR, who also goes by James Robert Ptacek, Jim Ptacek, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1989. James had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Robert Ptacek | Jim Ptacek

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 02/14/2018 - TA-CHECK FINANCIAL - Investment Related - Non-Variable Insurance - Insurance Sales - 80 Hours Per Month - Life, Health, LTC, Disability. 2. 02/14/2018 - TA-CHECK FINANCIAL - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Tax Preparer - Start Date 1993 - 80 Hours Per Month. 3. 02/14/2018 - PTACEK REAL ESTATE, LLC - Not Investment Related - OH - Real Estate Rental - PRESIDENT & LANDLORD - 10 Hours Per Month/0 Hours During Securities Trading. 4. 02/14/2018 - TA-CHECK FINANCIAL - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 5. 3/8/2018 - TA-CHECK FINANCIAL - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Started 03/08/2018 - I provide investment advisory services through TA-Check Financial , an independent investment advisor firm. I started this business activity in 03/08/2018. I expect to spend approximately [hours per month] on this activity. Please see the Form ADV of the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6. 6/27/2018 - P&M - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 08/01/2007 - 1 Hour Per Month/1 Hour During Securities Trading - Income Tax and Security Revenue. 7. 3/22/2021 - Ta-Check - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 1/1/1997 - 0 Hours Per Month/0 Hours During Securities Trading 8. 07/26/2023 - Sharaba's Financial Services, Inc - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 06/27/2018 - 5 Hours Per Month/ 5 Hours During Trading

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 11, 2023 - October 23, 2025

TA-CHECK FINANCIAL LTD.

RIA
CRD#: 122953
STRONGSVILLE, OH
Past

February 14, 2018 - November 14, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
WILLOUGHBY HILLS, OH
Past

February 14, 2018 - November 14, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
WILLOUGHBY HILLS, OH
Past

November 29, 2017 - December 31, 2022

TA-CHECK FINANCIAL LTD.

RIA
CRD#: 122953
FAIRVIEW PARK, OH
Past

August 29, 2007 - February 15, 2018

SII INVESTMENTS, INC.

RIA
CRD#: 2225
PARMA, OH
Past

August 29, 2007 - February 14, 2018

SII INVESTMENTS, INC.

BD
CRD#: 2225
PARMA, OH
Past

October 31, 2002 - October 19, 2007

TA-CHECK FINANCIAL LTD.

RIA
CRD#: 122953
PARMA, OH
Past

September 20, 1999 - August 27, 2007

FSC SECURITIES CORPORATION

RIA
CRD#: 7461
PARMA, OH
Past

April 1, 1997 - August 27, 2007

FSC SECURITIES CORPORATION

BD
CRD#: 7461
PARMA, OH
Past

November 12, 1993 - February 3, 1997

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

June 28, 1990 - March 15, 1993

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA
Past

March 28, 1990 - August 1, 1990

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

June 15, 1989 - March 15, 1990

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/2/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/31/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/16/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/14/1989
Investment Company Products/Variable Contracts Representative Examination

Current Firm

TF
TA-CHECK FINANCIAL LTD.
TA-CHECK FINANCIAL LTD.

CRD#: 122953 / SEC#:

Ohio
Registered Investment Advisory firm - (1/5/2023 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
7979 Pearl Road, Strongsville, OH 44136
Mailing Address
Phone number
(440) 891-1200
Established
Firm type
Fiscal year end
# of Employees
3

Documents

Latest Form ADV

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

TA-CHECK FINANCIAL LTD.

CRD#: 122953

TRUST BUT VERIFY

Monitor James Ptacek

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics